Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
SEC May Use Same Words to Describe Broker, Advisor Standard: Clayton
By Melanie WaddellClayton sparred with Sen. Elizabeth Warren Tuesday about the agency's advice-standards package during an SEC oversight hearing.
December 10, 2018
LPL-Affiliated Group Adds 50-Plus Reps From Departing OSJIndependent Advisor Alliance says some $2.3 billion in assets could move to its operations this year from IFP.
December 10, 2018
Wentworth Management to Acquire World Equity GroupWentworth will make additional roll-up announcements in 2019.
December 10, 2018
SEC Chair Clayton Lays Out 2019 Regulatory PrioritiesA "key priority" for the securities regulator is finalizing advice standards package, Clayton says.
December 06, 2018
Folio Rolls Out Robo Platform for Advisors, InvestorsThe technology allows for goals-based financial planning and specialized portfolio building.
December 06, 2018
SIFMA Sees Slowing Growth, SEC Best-Interest Rules Coming in 2019The best-interest regs will probably be clarified in the first half of next year, SIFMA says.
December 06, 2018
Ex-Waddell & Reed Team Sues RIA for Holding Them 'Hostage'The team sued for fraud after the RIA failed to deliver on promises, their lawyer tells ThinkAdvisor.
December 05, 2018
HealthCare.gov Managers OK First Super BrokerThe new Enhanced Direct Enrollment system could eliminate website hand-off hell.